DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•••••• A••••••• A•••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Sep 30, 2021 · 15 filings
SEC status approved since Nov 1, 2021
RAUM
$970M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
93
30 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
9
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$970M as of Jul 15, 2026
Mar 31, 2022$389M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Mar 31, 20220 then
Employees (5.A)93 as of Jul 15, 2026
Mar 31, 202231 then
Private funds9 as of Jul 15, 2026
Mar 31, 20226 then
RAUM +54% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $108MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +54%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$970M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• A••••••• C••••• O••••••••• L•• | Other Private Fund | $452M | 577 | Sep 30, 2021 |
| C•••••• A••••••• F••• Q•• L••no longer reported | Other Private Fund | $120M | 120 | May 6, 2021 |
| C•••••• A••••••• F••• ••••••••• L••• | Other Private Fund | $119M | 157 | Sep 30, 2021 |
| C•••••• A••••••• C•• H•••••••• L••no longer reported | Other Private Fund | $69.9M | 77 | Mar 31, 2022 |
| C•••••• A••••••• E••••• F•••• L•• | Private Equity Fund | $56.8M | 142 | Mar 31, 2023 |
| C•••••• A••••••• F•••• L••no longer reported | Other Private Fund | $18.8M | 86 | May 6, 2021 |
| C•••••• A••••••• C•• ••••••••• L• | Other Private Fund | $9.0M | 11 | Mar 29, 2024 |
| C•••••• A••••••• C••••• O••••••••• I••• L• | Other Private Fund | $8.9M | 25 | Mar 29, 2024 |
| C•••••• A••••••• P••••••••• L• | Other Private Fund | $6.8M | 2 | Mar 29, 2024 |
| C• P• I••••••••• L•• | Other Private Fund | $3.9M | 3 | Mar 31, 2023 |
| G•••• I•• K•••••••• L•• | Other Private Fund | $12,218 | 9 | Mar 31, 2022 |
| C•••••• A••••••• E••••• O••••••••• L••no longer reported | Private Equity Fund | $0 | 0 | Aug 5, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•••••• · Partnercontrolsince 07/2019 · owns less than 5%
- C••••••• A••••••• R••••• · Partnercontrolsince 07/2019 · owns less than 5%
- G•••••••• T•••••• N••••••• · Principal Financial And Accounting Officercontrolsince 03/2022 · owns less than 5%
- L•••••• A•••••• T••••• · Chief Compliance Officer And General Counselcontrolsince 08/2021 · owns less than 5%
- M••••••••• J•••• M•••••• · Partnercontrolsince 07/2019 · owns less than 5%
- B•••••••• A•••••• · Partnercontrolsince 04/2019 · owns 25% to 50% of C•••••• A••••••• G••••• L•
- C••••••• A••••••• R••••• · Partnercontrolsince 04/2019 · owns 25% to 50% of C•••••• A••••••• G••••• L•
- M••••••••• J•••• M•••••• · Partnercontrolsince 04/2019 · owns 25% to 50% of C•••••• A••••••• G••••• L•
Entity owners
- C•••••• A••••••• G••••• L• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• A••••••• C•• G•• L••pooled vehicle sponsorn
- C•••••• A••••••• E••••• M••••••• L••pooled vehicle sponsorn
- C•••••• A••••••• M••••••• L••pooled vehicle sponsorn
- C•••••• A••••••• O••••••• G•• L••pooled vehicle sponsorn
- C•••••• A••••••• P•••••••• G•• L••pooled vehicle sponsorn
- C•••••• A••••••• R••• M••••••• L••pooled vehicle sponsorn
Advisers that list C•••••• A••••••• A•••••••• L•• as a related person
- 312723 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
- Miami, FL5 employees
- Dallas, TX1 employees
- London, United Kingdom
What changed
consecutive filings, newest first
- Other offices · 3 to 4May 27, 2026 to Jul 15, 2026
- Advisory employees · 43 to 30Jan 30, 2026 to Mar 30, 2026
- Employees · 88 to 93Jan 30, 2026 to Mar 30, 2026
- Other offices · 4 to 3Jan 30, 2026 to Mar 30, 2026
- Private funds · 11 to 9Jan 30, 2026 to Mar 30, 2026
- Discretionary RAUM · $629M to $970MJan 30, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $629M to $970MJan 30, 2026 to Mar 30, 2026
- RAUM · $629M to $970MJan 30, 2026 to Mar 30, 2026
- Related adviser · false to trueJan 30, 2026 to Mar 30, 2026
- Related broker-dealer · false to trueJan 30, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 24, 2025
- Accounts · 8 to 9Oct 21, 2024 to Mar 28, 2025
- Advisory employees · 36 to 43Oct 21, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 9Oct 21, 2024 to Mar 28, 2025
- Employees · 60 to 88Oct 21, 2024 to Mar 28, 2025
- Private funds · 8 to 11Oct 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $679M to $629MOct 21, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $679M to $629MOct 21, 2024 to Mar 28, 2025
- RAUM · $679M to $629MOct 21, 2024 to Mar 28, 2025
- Other offices · 2 to 4Jun 3, 2024 to Oct 21, 2024
- Accounts · 5 to 8Aug 11, 2023 to Mar 29, 2024
- Advisory employees · 20 to 36Aug 11, 2023 to Mar 29, 2024
- Pooled vehicle clients · 5 to 8Aug 11, 2023 to Mar 29, 2024
- Employees · 37 to 60Aug 11, 2023 to Mar 29, 2024
- Private funds · 5 to 8Aug 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $483M to $679MAug 11, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $483M to $679MAug 11, 2023 to Mar 29, 2024
- RAUM · $483M to $679MAug 11, 2023 to Mar 29, 2024
- Related adviser · true to falseAug 11, 2023 to Mar 29, 2024
- Accounts · 6 to 5Aug 5, 2022 to Mar 31, 2023
- Advisory employees · 16 to 20Aug 5, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 5Aug 5, 2022 to Mar 31, 2023
- Employees · 31 to 37Aug 5, 2022 to Mar 31, 2023
- Other offices · 1 to 2Aug 5, 2022 to Mar 31, 2023
- Private funds · 7 to 5Aug 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $389M to $483MAug 5, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $389M to $483MAug 5, 2022 to Mar 31, 2023
- RAUM · $389M to $483MAug 5, 2022 to Mar 31, 2023
- Private funds · 6 to 7Mar 31, 2022 to Aug 5, 2022
- Accounts · 5 to 6Sep 30, 2021 to Mar 31, 2022
Signals
6 dated events
- C•••••• A••••••• A•••••••• L•• reported RAUM $970.3M, up 54% from $628.9M (2026-01-30 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- C•••••• A••••••• A•••••••• L•• reported RAUM $679.1M, up 41% from $483.0M (2023-08-11 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- L P•••••• S•••••••• (Chief Financial Officer) no longer on Schedule A of C•••••• A••••••• A•••••••• L•• (listed 2022-08-05, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Napoleon T••••• Geoffroy (Principal Financial And Accounting Officer) appeared on Schedule A of C•••••• A••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- C•••••• A••••••• A•••••••• L•• reported RAUM $389.1M, up 103% from $191.5M (2021-09-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••••• A••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• A••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• A••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- chicagoatlantic.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-625-9295reportedpublic record, Form ADV, Jul 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026